deficiencies in management and internal control systems. The company’s financial statements contained items that did not exist or were misstated, and the capital maintenance report overstated liquid assets

Ref. No. IVL 004/02/2020 26 February 2020 The President The Stock Exchange of Thailand Subject: Submission of Annual Audited Financial Statements and the Management Discussion and Analysis of

securities business in the category of securities brokerage, shall apply only to the securities brokerage outside the Stock Exchange of Thailand. Clause 3/1.6 For the purpose of supervision the undertaking of

provisions relating to a company licensed to undertake securities business in the category of securities brokerage, shall apply only to the securities brokerage outside the Stock Exchange of Thailand. Clause 3

Ref. No. IVL 005/11/2019 11 November 2019 The President The Stock Exchange of Thailand Subject: Submission of Quarterly Review of Financial Statements and the Management Discussion and Analysis of

Ref. No. IVL 003/08/2020 13 August 2020 The President The Stock Exchange of Thailand Subject: Submission of Quarterly Review of Financial Statements and the Management Discussion and Analysis of

Ref. No. IVL 002/05/2020 12 May 2020 The President The Stock Exchange of Thailand Subject: Submission of Quarterly Review of Financial Statements and the Management Discussion and Analysis of

of securities brokerage, shall apply only to the securities brokerage outside the Stock Exchange of Thailand. Clause 3/1. For the purpose of supervision the undertaking of securities brokerage of

technology operation, either by an internal unit of the securities company or by an outsider inspector, in order to inspect all of the potential risks on information technology. In case of inspection by an

inspection of information technology operation, either by an internal unit of the securities company or by an outsider inspector, in order to inspect all of the potential risks on information technology. In